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William Thompson

Siebert Williams Shank & CO., LLC

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About William Thompson

William Thompson is a financial professional with over 25 years of experience in the securities industry. William is currently registered with Siebert Williams Shank & Co., LLC and has held previous positions with SIEBERT, BRANDFORD, SHANK & CO., L.L.C., BEREAN CAPITAL INCORPORATED and GEORGE K. BAUM & COMPANY. William holds licenses for Series 7, Series 52TO, Series 53 and Series 63. William is registered in 16 states including California, Connecticut, Delaware, District of Columbia, Florida, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Virginia and Wisconsin.

Firm Information

William Thompson is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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William Thompson’s Registration & Firm History

NY

11/21/2013 - Present

Siebert Williams Shank & CO., LLC (NEW YORK NY)

NY

06/14/2010 - 04/02/2013

SIEBERT, BRANDFORD, SHANK & CO., L.L.C. (NEW YORK NY)

IL

04/20/1998 - 05/21/2001

BEREAN CAPITAL INCORPORATED (CHICAGO IL)

MO

05/31/1994 - 05/01/1996

GEORGE K. BAUM & COMPANY (KANSAS CITY MO)

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Licenses & Designations

BC

Issued 09/10/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/27/2017

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Thompson.
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